by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 23, 2014
Financial Advisor
NEWInvestors Bancorp
- Wantagh, NYProvide sound financial advice to customers by evaluating their financial condition, needs and future goals. Must keep abreast of procedures and maintains a current knowledge of...
Financial Advisor
NEWFinancial Planning Services
- Boise, IDJob Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...
Financial Advisor
NEWAXA Advisors
- Omaha, NECompany Description AXA Advisors LLC is a leading provider of financial services for consumers and businesses working with clients to help them define and pursue their financial...
Financial Advisor
NEWNorthern Financial Services
- Watertown, NYCompany Description: A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services...
Financial Advisor
NEWBB&T
- Naples, FLAuto req ID 30804BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Naples, FL - 5551 Ridgewood Drive Language Fluency English Full-Time/Part-Time...
Financial Advisor
NEWBMO
- Westchester, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWBMO Harris Bank
- Westchester, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWModern Woodmen of America
- Elizabethtown, KYCompany Description: Modern Woodmen of America is a member-owned fraternal financial services organization. We secure futures with financial guidance and products. We touch lives...
Financial Advisor
NEWNew York Life Insurance
- San Mateo, CACompany Description: New York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is...
Financial Advisor
NEWAmerican International Group
- Cedar Rapids, IAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
NEWPoppell Financial Group
- Orlando, FLCompany Description: We are a regional financial services firm serving the panhandle and central Florida. While many financial products offered by firms are similar, our customer...
Financial Advisor
NEWBMO Financial Group - Finance Industry
- Kokomo, INPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWBMO Financial Group
- Westchester, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWThrivent Financial
- Lancaster, PACompany Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...
Financial Advisor
AIG Financial Advisors
- Bellingham, WAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
Seacoastbank
- Orlando, FLCompany Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...
Financial Advisor
Ally
- Norwich, CTRequirements: 2+ to 5 years of experience Bachelor's Degree Series 7 license Either 66 or 63/65 licenses Life/Health license We are seeking an uncommon professional to join our...
Financial Advisor
Hoopis Financial Group
- Chicago, ILJob Description: Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of...
Financial Advisor
Hazelwood, MOCompany Description: Equal Employment Opportunity employer. It is our policy to provide equal opportunity to all employees and applicants and to prohibit any discrimination...
Financial Advisor
American International Group
- Bellingham, WAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
DMG Financial
- Denver, COCompany Description: Our fast-growing organization of experienced financial professionals continues to grow from coast to coast. If you are an experienced financial professional...
Financial Advisor
AIG Financial Advisors
- Phoenix, AZPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
BB&T Bank
- Atlanta, GAEssential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...
Financial Advisor
Rz Partners
- Boston, MAJob Description: The role of the Financial Consultant is to establish value-added relationships with customers, to understand their financial needs and to offer solutions for...
New York Life Insurance Co
- Sleepy Hollow, NYNew York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is headquartered in New York...
Manager,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR
NEWIndependent Securities Regulator
- New York City, NYServe as subject matter expert, and provide technical guidance and education on accounting related topics, respond to interpretative questions, regulatory matters and issues...
Regional Marketing Director
NEWInsurance and Investment Management Holding Company
- San Francisco, CADescription The Role As the Regional Marketing Director - Channel Insurance Sales, you will be responsible for the overall success and growth of Life Insurance within the Lincoln...
Investment Banking and Research Compliance Analyst (00885129)
NEWMichael Page International - US
- New York City, NYInvestment Banking and Research Compliance Analyst * Salary: USD75000.00 - USD110000.00 per year + Bonus + Benefits * Location: Manhattan, NY, USA * Job Type: Permanent, Full time...
Senior Sales Executive
NEWCitizens Financial Group
- Dedham, MAResponsibilities This person will be responsible for working with Financial Consultants, Trust Relationship Managers, and Premier Bankers within a given region to conduct joint...
Financial Advisor
NEWInvestors Bancorp
- Wantagh, NYProvide sound financial advice to customers by evaluating their financial condition, needs and future goals. Must keep abreast of procedures and maintains a current knowledge of...
Compliance Associate - jr. de
NEWPerfect Fit Placement
- New York City, NYCompany DescriptionCompany is an Equal Employment Opportunity Employer - M/F/D/VJob Description Compliance Associate (jr) Manhattan, NYC Great salary and Benefits ~~Fast-growing...
Financial Advisor
NEWFinancial Planning Services
- Boise, IDJob Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...
Securities Operations Representative - Fixed Term w/Benefits
NEWNational Life Group
- Montpelier, VTCompany Description: Our promise is our product. Our mission is to keep our promises. Delivering on those promises is a talented and dedicated pool of people. View our open jobs...
Financial Advisor Trainee Position
NEWLaidlaw & Company (uk)
- New York City, NYCompany Description: -170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...
Fixed Income and Commodities - Risk Control Group Surveillance Associate
NEWMorgan Stanley
- New York City, NYThe Risk Control Group (RCG) works within the Firm's Sales & Trading Division and is responsible for the overall program of supervision in Fixed Income, Commodities and Bank...
Investment Specialist - HNW Closely Held Businesss Group
NEWJPMorgan Chase &
- New York City, NYJ.P. Morgan Global Wealth Management Investor Position Summary: The Investor combines the technical skills of portfolio managers with the communication and selling skills of...
Internal Wholesaler-Product Desk
NEWCitizens Financial Group
- Dedham, MAResponsibilities The CCO Internal Wholesaler is responsible for partnering with Financial Consultants and Sales Managers, creating new and managing existing relationships with...
Financial Adviser / Registered Representative / Agent
NEWNew York Life
- Boston, MACompany DescriptionNew York Life is among the strongest and most respected financial companies in America today. New York Life has earned the highest possible financial strength...
Business Supervision Officer/Supervisory Delegate
NEWBank of America
- New York City, NYCandidate will need to have a sound understanding of trading businesses and how trading desks function, ideal candidate should have some experience in the Front Office/Middle...
Senior Audit and Compliance Testing Officer
NEWNetwork Esc (a Division of Network Temps, Inc.)
- New York City, NYCompany DescriptionTop US Executive Search and Recruiting Firm Specializing in: Accounting, Audit, & Taxation Banking & Financial Services Information Technology...
Sr Client Services Rep - Finance and Investment Industry Opportunity
NEWBank of America - Finance and Investment Industry
- New York City, NYAsset Management Services Hedge Fund Account Manager Platform oversight and delivery Ensure the efficient daily interface with all PB clients Act as single day-to-day point of...
CCO Investment Advisers & Investment Services
NEWHuman Resources Focused Consulting Firm
- New York City, NYOur client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers Investment Services division. Specific responsibilities...
Seeking individuals for Wealth Management Training Program
NEWLaidlaw & Company (uk)
- New York City, NYCompany Description-170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...
Financial Sales Management
NEWAXA Advisors
- Brooklyn, NYCompany DescriptionAbout AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...
Operational Risk Manager- Corporate Equity Solutions
NEWLeading Global Financial Services Firm
- New York City, NYPrimary ResponsibilitiesMaintain Policies and Procedures: work with CES Managers to ensure department policies and procedures are created, updated as necessary and maintained in a...
Lincoln Financial Group
- New York City, NYAbout The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas -...
Internal Wholesaler-Product Desk
NEWCitizens Financial Group
- Dedham, MAResponsibilities The CCO Internal Wholesaler is responsible for partnering with Financial Consultants and Sales Managers, creating new and managing existing relationships with...
Financial Adviser / Registered Representative / Agent
NEWNew York Life
- Boston, MACompany DescriptionNew York Life is among the strongest and most respected financial companies in America today. New York Life has earned the highest possible financial strength...
Anticipated Private Client Advisor - Chase Private Client - Bay Ridge Area
NEWJPMorgan Chase &
- Brooklyn, NYBusiness Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...
RIA Int'l Sales & Mrktng Rep
NEWBNY Mellon
- Boston, MARIA Int'l Sales & Mrktng Rep (Job Number: 1411178) BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout...
Head of Surveillance and Investigations Teams for NYSE Equities Markets
NEWGlobal Network of Exchanges and Clearing Houses
- New York City, NYDescriptionThe Head of Surveillance and Investigations for NYSE Options Markets will be a senior member of the NYSE Regulation team and will work with the Department Head of...
Information Technology Risk and Controls Examiner, Member Regulation
NEWIndependent Securities Regulator
- New York City, NYJob Summary: Plans and conducts on-site information technology controls and compliance examinations of member organizations. Advises surveillance and exam staff on how to assess...
Business Supervision Officer/Supervisory Delegate
NEWBank of America
- New York City, NYCandidate will need to have a sound understanding of trading businesses and how trading desks function, ideal candidate should have some experience in the Front Office/Middle...
Regional Sales Director Retirement Services
NEWLeading Insurance Company
- New York City, NYJob SummaryWHAT DOES IT TAKE TO BE A REGIONAL SALES DIRECTOR? A self-starter with an entrepreneurial spirit whosconsistently positive.Role Characteristics Seasoned individual...
Senior Audit and Compliance Testing Officer
NEWNetwork Esc (a Division of Network Temps, Inc.)
- New York City, NYCompany DescriptionTop US Executive Search and Recruiting Firm Specializing in: Accounting, Audit, & Taxation Banking & Financial Services Information Technology...
Sr Client Services Rep - Finance and Investment Industry Opportunity
NEWBank of America - Finance and Investment Industry
- New York City, NYAsset Management Services Hedge Fund Account Manager Platform oversight and delivery Ensure the efficient daily interface with all PB clients Act as single day-to-day point of...
CCO Investment Advisers & Investment Services
NEWHuman Resources Focused Consulting Firm
- New York City, NYOur client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers Investment Services division. Specific responsibilities...
Director, Public Communications - Corporate Communications
NEWIndependent Securities Regulator
- New York City, NYJob Summary:Plan, research and write external communications that effectively support and advance FINRA s regulatory mission, public positions, and investor education initiatives.
Seeking individuals for Wealth Management Training Program
NEWLaidlaw & Company (uk)
- New York City, NYCompany Description-170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...
Agency Sales Director
NEWLeading Provider of Insurance and Other Financial Services
- Boston, MAJob Requirements: S7, Insurance Producers License, S24 (Preferred)Prior experience in growing a sales officePrior recruiting experiencePrior sales experienceAppropriate FINRA...
FINANCE: Associate-Finance
NEWGoldman Sachs &
- New York City, NYFINANCE Associate-Finance w Goldman Sachs Co. in New York, NY. Work on teams to provide financial advice to real estate, lodging and gaming corporations on MA transactions,...
Financial Sales Management
NEWAXA Advisors
- Brooklyn, NYCompany DescriptionAbout AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...
VP - Compliance Manager
NEWHuman Resources Focused Consulting Firm
- New York City, NYRobert Half Financial Services specializes in the placement of professionals with top companies in the market. We have lasting client relationships giving us access to the best...
Operational Risk Manager- Corporate Equity Solutions
NEWLeading Global Financial Services Firm
- New York City, NYPrimary ResponsibilitiesMaintain Policies and Procedures: work with CES Managers to ensure department policies and procedures are created, updated as necessary and maintained in a...
Chase Private Client - Private Client Advisor - New York, NY (Park Ave & 32nd St) - Finance and Investment Industry Opportunity
NEWJPMorgan - Finance and Investment Industry
- New York City, NYBusiness Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...
Supervisory Support Manager
NEWBank of America
- New York City, NYThe candidate will join GBAM Central Supervision Teamand will have global responsibility for driving and supporting many aspects of the central controls infrastructure and policy...
Senior Sales Executive
NEWNorfolk Southern
- Plymouth Meeting, PAResponsibilities This person will be responsible for working with Financial Consultants, Trust Relationship Managers, and Premier Bankers within a given region to conduct joint...
5 hours ago from IHispano
Compliance Officer
NEWTop Tier Financial Services Consultancy
- Quincy, MAGeneral compliance related responsibilities as a member of the compliance team in support of the firm s Compliance and Risk programs including the review of accounts for mandate...
Compliance Officer
NEWAmeriprise Financial
- Minneapolis, MNJob DescriptionThe compliance officer will ensure that marketing communications created by different Ameriprise Financial entities satisfy regulatory and internal company...
Compliance Officer
NEWHuman Resources Focused Consulting Firm
- New York City, NYRobert Half Financial Services specializes in the placement of professionals with top companies in the market. We have lasting client relationships giving us access to the best...
Compliance Officer
NEWMarto Consulting
- Buffalo, NYGreat opportunity for a licensed principle to work for a global investment bank. This Buffalo location needs a licensed investment professional with Series 7, 65, Series 9/10 or...
Compliance Officer
NEWBNY Mellon
- Lake Mary, FLKnow Your Customer ("KYC") is a department expressly created to monitor and control reputational and other risks by conducting Due Diligence on prospective and/or current Pershing...
Compliance Officer
NEWMarto Consulting
- Buffalo, NYCompany Description: mARTo consulting is an innovative Executive Search Firm specializing in placing talented candidates in start-up through FORTUNE 500 Companies. We focus on...
Compliance Officer
NEWRobert Half Finance & Accounting
- New York City, NYRobert Half Financial Services is recruiting for an experienced Asset Management Compliance professional with Investment Advisor's Act experience. The candidate should be able to...
Compliance Officer
NEWBank
- New York City, NY* Plan, organize, and deliver work on audit engagements, assessing the adequacy of the control framework and document risk issues for business management * Present findings in a...
Compliance Officer
Ameriprise Financial
- Minneapolis, MNThe compliance officer will ensure that marketing communications created by different Ameriprise Financial entities satisfy regulatory and internal company requirements; support...
Compliance Officer
Financial Services
- Greenwich, CTJob Description: A top broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, CFTC, NFA, a law firm, an exchange of another...
LITIGATION ATTORNEY
Investment Firm Providing Private and Institutional Brokerage
- Los Angeles, CAWedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. ... 3 to 4 years of experience withFINRA and SEC matters required Three years...
Associate Attorney - Securities
Winget, Spadafora & Schwartzberg
- New York City, NYManhattan office. Experience must include FINRA and securities and arbitration litigation. The firm offers competitive pay commensurate with experience and an excellent benefits...
A&Q Attorney
Private Wealth & Asset Management Firm
- New York City, NYas well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...
VP, Attorney
Global Investment Solutions Provider
- Newport Beach, CACompany tax rules is a plus Knowledge of FINRA rules, NYSE listed company rules and non-US securities laws a plus Strong oral and written communications skills General Leadership...
Corporate Fund Formation Associate Attorney
Lsj
- New York City, NYd and strategic investor transactions -Fiduciary obligations and side letters -Drafting compensation agreements -Compliance rules and regulations of SEC, FINRA and other...
Assistant General Counsel / Lead Attorney
Leading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLPreferred Qualifications: Series 7 and 24 FINRA licenses. Frequent demand to establish priorities and meet tight deadlines. Ability to provide quality legal services based on...
White Collar Crime Associate Attorney
Lsj
- New York City, NYas the Securities and Exchange Commission, FINRA, the Federal Trade Commission, the Office of Foreign Assets Control, the Internal Revenue Service, the Commodity Futures Trading...
Senior Regulatory Attorney
Diversified Financial Services Firm Focusing On Investment Banking and Financial Planning
- Saint Petersburg, FLand its subsidiaries, including SEC, FINRA, and state regulatory inquiries, ... Company regulations. Advanced knowledge of FINRA rules and Securities Exchange Act of...
Corporate Attorney--Fund Formation
Lsj
- New York City, NYSeed and strategic investor transactions -Fiduciary obligations and side letters -Draft compensation agreements -Compliance rules and regulations of SEC, FINRA and other...
Attorney, Sales Practice Policy
Finra
- New York City, NYThe Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual ... advice to Member Regulation staff, FINRA membership, and other interested parties...
BlackRock Trading and Derivatives Attorney
NEWBlackRock
- New YorkBlackRock is seeking a lawyer to be part of the in-house legal team covering trading and ... • Experience with SEC,FINRA and CFTC rules relating to derivatives and trading platforms...
BlackRock Trading and Derivatives Attorney
NEWBlack Rock
- New YorkBlackRock is seeking a lawyer to be part of the in-house legal team covering trading and ... • Experience with SEC,FINRA and CFTC rules relating to derivatives and trading platforms...
Senior Counsel
PNC
- Pittsburgh, PAfrom FINRA and the SEC; managing FINRA arbitrations; assisting the retail-broker ... managing some civil litigation. The lawyer will also coordinate responses to government...
Attorney, Sales Practice Policy
Financial Industry Regulatory Authority (finra)
- New York City, NYnepotism. About FINRA FINRA is an independent, non-governmental regulator for all ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
Attorney - Investment Mgmt
Bank of America
- Boston, MAInvestment Advisers Act of 1940, and SEC, FINRA and CFTC rules and regulations. * Familiarity with private placements of securities, including those offered pursuant to Regulation...
A&Q Attorney
NEWUBS Financial Services
- New York City, NYas well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...
Securities Counsel (Contractor) - FINRA
Financial Industry Regulatory Authority
- New York City, NY(Contractor) - Market Regulation - Legal - FINRA Participation in examinations, ... or assist in representing theFINRA in disciplinary hearings as its staff attorney,...
A&Q Attorney
Private Wealth & Asset Management Firm
- New York City, NYas well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...
Corporate Fund Formation Associate Attorney
Lsj
- New York City, NYd and strategic investor transactions -Fiduciary obligations and side letters -Drafting compensation agreements -Compliance rules and regulations of SEC, FINRA and other...
Senior Prosecuting Attorney (RLD #101005...
New Mexico State Personnel Office
- Santa Fe, NMwith the Securities and Exchange Commission, FINRA, the offices of the Attorney General, the District Attorneys, the U.S. Attorney, the FBI, and the U.S. Postal Inspector and a...
Digital Attorney
Complistaff
- Newark, NJexperience preferred. Working knowledge of FINRA, SEC, a plus coupled with FTC, FCC and ESIGN ACT as they pertain to digital and social media legal and compliance issues Excellent...
Litigation Attorney
Wedbush Securities
- Los Angeles, CAWedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. * ... clients, and senior management Keyword: lawyer, litigation, counsel From: Wedbush...
Senior Prosecuting Attorney (RLD #10100514)
New Mexico State Personnel Office
- Santa Fe, NMwith the Securities and Exchange Commission, FINRA, the offices of the Attorney General, the District Attorneys, the U.S. Attorney, the FBI, and the U.S. Postal Inspector and a...
Compliance Examiner - Member Regulation, Sales Practice
Finra
- Chicago, ILreports to broker-dealer executives and FINRA management, including information ... and guidelines through completion of FINRA's structured training program, which...
Compliance Examiner - Member Regulation, Sales Practice
NEWFinra
- Kansas City, MOreports to broker-dealer executives and FINRA management, including information ... and guidelines through completion of FINRA's structured training program, which...